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Real-time Safety Index Adaptation for Parameter-varying Systems
via Determinant Gradient Ascend

Rui Chen1, Weiye Zhao1, Ruixuan Liu1, Weiyang Zhang2, and Changliu Liu1 1Carnegie Mellon University, Pittsburgh, PA. Contact: {ruic3, weiyezha, ruixuanl, cliu6}@andrew.cmu.edu2University of Michigan, Ann Arbor, MI. Contact: [email protected]This work is partially supported by the National Science Foundation, Grant No. 2144489.
Abstract

Safety Index Synthesis (SIS) is critical for deriving safe control laws. Recent works propose to synthesize a safety index (SI) via nonlinear programming and derive a safe control law such that the system 1) achieves forward invariant (FI) with some safe set and 2) guarantees finite time convergence (FTC) to that safe set. However, real-world system dynamics can vary during run-time, making the control law infeasible and invalidating the initial SI. Since the full SIS nonlinear programming is computationally expensive, it is infeasible to re-synthesize the SI each time the dynamics are perturbed. To address that, this paper proposes an efficient approach to adapting the SI to varying system dynamics and maintaining the feasibility of the safe control law. The proposed method leverages determinant gradient ascend and derives a closed-form update to safety index parameters, enabling real-time adaptation performance. A numerical study validates the effectiveness of our approach.

I Introduction

Autonomous systems are entering many application domains, e.g., autonomous vehicles [1], human-robot collaboration [2, 3], etc. As autonomous systems are deployed to more dynamic environments, safety becomes increasingly critical. It is important to ensure that the system would not harm the agents sharing the environment (i.e., humans and the workspace).

Safe control has been widely studied to guarantee the safety of autonomous systems. In particular, energy functions [4] are widely used in the safe control field to quantify system safety and derive control laws to ensure safety, such as the safe set algorithm (SSA) [5] and control barrier functions (CBF) [6]. To achieve provable safety, the safe control law needs to satisfy two critical properties: 1) forward-invariance (FI), meaning that the system should stay in a safe region once entering it, and (b) finite-time convergence (FTC), meaning that the system should land in the safe region in finite time even starting in an unsafe state. To achieve such a provably safe control law, a safety index (SI) needs to be carefully synthesized so that the constraints yield from the SI is always feasible. Namely, in every state of interest, there must exist a control in the control space (either bounded or unbounded), that satisfies the safety constraints. Therefore, Safety Index Synthesis (SIS) is critical [7, 8].

Refer to caption
Figure 1: Illustration of safety index adaptation. After the drone picks up a package whose weight is not known in advance, its dynamics change. The safe control law is adapted to the new dynamics and continues to guarantee safety, e.g., collision avoidance.

SIS has been widely studied. Previous works [9, 10] address SIS for dynamic systems with unbounded control. [7, 11, 8] address SIS for systems with known bounded control. Recent work [12] further addresses the SIS problem for dynamic systems with varying (i.e., state-dependant) control bounds, which is more practical in reality. Although existing approaches are promising, most of them consider invariant dynamic systems. In practice, the dynamics of real-world systems are usually varying. For example, when a drone is used for package delivery, its dynamics change every time a package is added or removed (see Figure 1); when a robot arm is used for pick-and-place, its dynamics can change due to the object being manipulated. Under perturbed dynamics, the safe control law derived from the previous safety index might no longer be feasible, and can no longer guarantee safety. A naive fix is to re-synthesize the SI whenever the dynamics change. However, a full SIS generally requires non-trivial efforts and is infeasible for real-time adaptation. For instance, it can take more than 10 minutes to synthesize a single SI for a simplistic unicycle model with state-dependant control bounds [12].

This paper studies efficient safety index adaptation (SIA) for parameter-varying systems. Our intuition is that when the system dynamics change, it should be sufficient to fine-tune the safety index instead of generating a new one from scratch. To achieve that, we first observe that the full SIS problem is in fact solved via a semidefinite program with a positive-semidefiniteness (PSD) constraint that depends on the system dynamics. That constraint is normally violated when the dynamics change, invalidating the previous safety index. A reasonable solution is to fine-tune the SI parameters such that the PSD constraint is satisfied again. Leveraging Sylvester’s criterion [13], we are able to derive closed-form updates to the SI parameters that are computationally efficient enough for real-time adaptation.

In short, our major contribution is introducing determinant gradient ascent (DGA), a closed-form safety index adaptation algorithm that guarantees user-defined safety for parameter-varying dynamic systems. For the rest of the paper, we review the literature in Section II. In Section III, we introduce the goal of safe control and the full SIS problem before formulating the problem of safety index adaptation. In Section IV, we derive our efficient SIA approach which is then validated via a numerical study in Section V. We finally provide future directions and conclude with Section VI.

II Related Work

Previous works [9, 10] address SIS for known dynamics. SIS is similar to CBF synthesis for enforcing constraints [6], but different in that the desired safety index refers to a specific class of energy functions usually for collision avoidance with the safe set algorithm (SSA) [5, 14].

Real-world system dynamics are usually imperfectly known (i.e., uncertainty exists). To address those, [15] introduces adaptive CBF (aCBF) to ensure the safety of dynamic systems with estimated parametric model uncertainty. [16] introduces robust aCBF (RaCBF), which results in a less conservative safe control behavior than aCBF. [17] applies adaptive control to CBF for safe control of systems with parametric uncertainty by adjusting the adaptation gain online. [18, 19, 20] assume bounded dynamics noise and use learning-based approaches to synthesize the CBF of the mismatched system dynamics. [21] focuses on high relative degree safety constraints for systems with dynamics uncertainty. It leverages concurrent learning to estimate the system uncertainty parameters online and synthesizes CBF. [22] addresses high-order CBF for time-varying system dynamics and state constraints. However, these works do not consider control bounds, which are important in real-world systems and could violate safety guarantees.

[7, 8, 11] address SIS for known systems with invariant bounded control. [23] introduces time-varying penalty functions to construct adaptive CBF when addressing systems with noisy dynamics and time-varying control bounds. Recent work [12] addresses the SIS problem for dynamic systems with varying (i.e., state-dependant) control bounds. Despite the rapid advancement in the field, existing works do not consider systems with both varying dynamics and varying control bounds, which will be addressed in this paper.

III Preliminaries and Problem Formulation

III-A Dynamic System

We follow [12] and consider a dynamic system with state-dependent control limits. Let x𝒳Nxx\in\mathcal{X}\subset\mathbb{R}^{N_{x}} be the system state and u𝒰u\in\mathcal{U} be the control input. The state space 𝒳\mathcal{X} is bounded by a set of inequalities 𝒳:={xhi(x)0,i=1,,Nh}\mathcal{X}\vcentcolon=\{x\mid h_{i}(x)\geq 0,\forall i=1,\dots,N_{h}\}. The control space is bounded element-wise, i.e., 𝒰:={uNuu¯uu¯}\mathcal{U}\vcentcolon=\{u\in\mathbb{R}^{N_{u}}\mid\underline{u}\leq u\leq\bar{u}\}. The dynamics is given by

x˙=f(x)+g(x)u,u𝒰,\dot{x}=f(x)+g(x)u,\leavevmode\nobreak\ u\in\mathcal{U}, (1)

where f:NxNxf:\mathbb{R}^{N_{x}}\mapsto\mathbb{R}^{N_{x}} and g:NxNx×Nug:\mathbb{R}^{N_{x}}\mapsto\mathbb{R}^{N_{x}\times N_{u}} are both locally Lipschitz continuous.

III-B Preliminary: Safe Control

Safety Specification: For safety, we require the state to stay within a closed subset 𝒳S\mathcal{X}_{S} (i.e., safe set) of the state space 𝒳\mathcal{X}. 𝒳S\mathcal{X}_{S} is assumed to be the zero sublevel set of some piecewise smooth function ϕ0:=𝒳\phi_{0}\vcentcolon=\mathcal{X}\mapsto\mathbb{R}, i.e., 𝒳S:={x𝒳ϕ0(x)0}\mathcal{X}_{S}\vcentcolon=\{x\in\mathcal{X}\mid\phi_{0}(x)\leq 0\}. Both 𝒳S\mathcal{X}_{S} and ϕ0\phi_{0} should be designed by users. For instance, ϕ0\phi_{0} can be ϕ0=dmind\phi_{0}=d_{\mathrm{min}}-d if we were to keep the distance dd to some obstacle above dmind_{\textrm{min}}.

Safe Control Objectives: Following [12], we focus on safe control with two objectives: (a) forward invariance (FI), meaning if the state xx is already within the safe set, it should never leave that set and (b) finite-time convergence (FTC), meaning if the state xx is outside the safe set, it should land in the safe set in finite time.

Safe Control Backbone: When the control uu does not appear in ϕ˙0\dot{\phi}_{0} (e.g., ϕ˙0=d˙\dot{\phi}_{0}=-\dot{d} does not depend on the acceleration input for a second-order system), we cannot derive constraints on uu to ensure safety. To solve that issue, the safe set algorithm (SSA) [5] provides a systematic approach to design an alternative safety quantification ϕ\phi to handle general relative degrees (>1>1) between ϕ0\phi_{0} and the control. SSA introduces a continuous, piece-wise smooth energy function ϕ:=𝒳\phi\vcentcolon=\mathcal{X}\mapsto\mathbb{R} (a.k.a. the safety index). The general form of an nthn^{\mathrm{th}} (n0n\geq 0) order safety index ϕn\phi_{n} is given as ϕn=(1+a1s)(1+a2s)(1+ans)ϕ0\phi_{n}=(1+a_{1}s)(1+a_{2}s)\dots(1+a_{n}s)\phi_{0} where ss is the differentiation operator. ϕn\phi_{n} is alternatively expanded to

ϕn:=ϕ0+i=1nkiϕ0(i).\phi_{n}\vcentcolon=\phi_{0}+\textstyle\sum_{i=1}^{n}k_{i}\phi^{(i)}_{0}. (2)

where ϕ0(i)\phi_{0}^{(i)} is the ithi^{\mathrm{th}} time derivative of ϕ0\phi_{0}. The safe control law cϕnc_{\phi_{n}} of SSA can be written as the following optimization:

𝐦𝐢𝐧u𝒰𝒥(u)𝐬.𝐭.ϕ˙n(x,u)ηifϕn(x)0\mathop{\underset{u\in\mathcal{U}}{\mathop{\mathbf{min}}}}\mathcal{J}(u)\leavevmode\nobreak\ \mathop{\mathbf{s.t.}}\leavevmode\nobreak\ \dot{\phi}_{n}(x,u)\leq-\eta\leavevmode\nobreak\ \mathrm{if}\leavevmode\nobreak\ \phi_{n}(x)\geq 0 (3)

where the objective 𝒥\mathcal{J} is arbitrary. By [5, 12], if (a) the roots of the characteristic equation i=1n(1+ais)=0\prod_{i=1}^{n}(1+a_{i}s)=0 are all negative real, (b) ϕ0(n)\phi_{0}^{(n)} has relative degree one to the control input, and (c) the problem (3) is always feasible, both FI and FTC are guaranteed. Note that (3) only considers constraint satisfaction which is compatible with arbitrary control objectives. For instance, for reference tracking, we can set 𝒥(u)=uur\mathcal{J}(u)=\|u-u^{r}\| to find uu that is minimally invasive to the nominal control uru^{r}, presumably generated by a given tracking controller with asymptotical stability.

III-C Preliminary: Safe Index Synthesis

To achieve safety guarantees by implementing (3), we need to construct ϕ\phi to make the optimization feasible. Such an objective is referred to as Safety Index Synthesis (SIS), mathematically described as 1.

Problem 1 (Safety Index Synthesis).

Find safety index as ϕθ:=ϕ0+i=1nkiϕ0(i)\phi_{\theta}\vcentcolon=\phi_{0}+\sum_{i=1}^{n}k_{i}\phi^{(i)}_{0} with parameter θΘ:={[k1,k2,,kn]ki,ki0,i}\theta\in\Theta\vcentcolon=\{[k_{1},k_{2},\dots,k_{n}]\mid k_{i}\in\mathbb{R},k_{i}\geq 0,\forall i\}, such that

x𝒳𝐬.𝐭.ϕθ(x)0,𝐦𝐢𝐧u𝒰ϕ˙θ(x,u)<η.\forall x\in\mathcal{X}\leavevmode\nobreak\ \mathop{\mathbf{s.t.}}\leavevmode\nobreak\ \phi_{\theta}(x)\geq 0,\mathop{\underset{u\in\mathcal{U}}{\mathop{\mathbf{min}}}}\dot{\phi}_{\theta}(x,u)<-\eta. (4)

ϕθ\phi_{\theta} is the nthn^{\mathrm{th}} order safety index parameterized by θ\theta and is used interchangeably with ϕn\phi_{n} hereafter for clarity. Note that 1 depends on the dynamics (1) (i.e., ff and gg) since ϕ˙θ(x,u)=ϕθxf(x)+ϕθxg(x)u\dot{\phi}_{\theta}(x,u)=\frac{\partial\phi_{\theta}}{\partial x}f(x)+\frac{\partial\phi_{\theta}}{\partial x}g(x)u in (4). 1 is also difficult for having infinitely many constraints since (4) needs to hold for any state x𝐬.𝐭.ϕθ(x)0x\leavevmode\nobreak\ \mathop{\mathbf{s.t.}}\phi_{\theta}(x)\geq 0. To tackle that challenge, we follow [8, 12] and leverage Positivstellensatz [24] to transform 1 into a sum-of-square programming (SOSP) which is further converted to nonlinear programming (NP). In specific, a refute set {xζi=1,,Nζ(x)=0,γi=1,,N(x)0}\{x\mid\zeta_{i=1,\dots,N_{\zeta}}(x)=0,\gamma_{i=1,\dots,N}(x)\geq 0\} is first established for (4), then proved empty by solving an SOSP. We refer readers to [12] for details on the construction of the refute set. The SOSP finds pi,pi0,i>0p^{\prime}_{i}\in\mathbb{R},p_{i}\geq 0,\leavevmode\nobreak\ \forall i>0 such that

p0=1i=1Nζpiζip1γ1p2γ2pNγN\displaystyle p_{0}=-1-\textstyle\sum_{i=1}^{N_{\zeta}}p^{\prime}_{i}\zeta_{i}-p_{1}\gamma_{1}-p_{2}\gamma_{2}-\dots-p_{N}\gamma_{N} (5)
p12γ1γ2p12Nγ1γNSOS.\displaystyle\leavevmode\nobreak\ \leavevmode\nobreak\ \leavevmode\nobreak\ \leavevmode\nobreak\ \leavevmode\nobreak\ \leavevmode\nobreak\ \leavevmode\nobreak\ \leavevmode\nobreak\ -p_{12}\gamma_{1}\gamma_{2}-\dots-p_{12\dots N}\gamma_{1}\dots\gamma_{N}\in SOS.

where ζi\zeta_{i}, γi\gamma_{i} are functions of xx and also depend on ff and gg. The SOS condition is enforced by finding the positive semi-definite (PSD) decomposition p0=𝒙Q(θ,𝒑)𝒙p_{0}=\bm{x}^{\top}Q(\theta,\bm{p})\bm{x} where Q(θ,𝒑)0Q(\theta,\bm{p})\succeq 0. Assuming p0p_{0} has degree 2d2d, 𝒙:=[1,x[1],,x[Nx],x[1]x[2],,x[Nx]d]\bm{x}\vcentcolon=\left[1,x[1],\dots,x[N_{x}],x[1]x[2],\dots,x[N_{x}]^{d}\right]^{\top} contains all monomials of xx with order no more than dd. 𝒑:=[p1,,pNζ,p1,p2,,p012N]\bm{p}\vcentcolon=[p^{\prime}_{1},\dots,p^{\prime}_{N_{\zeta}},p_{1},p_{2},\dots,p_{012\dots N}]^{\top} denotes the auxiliary decision variable. The final NP is given by:

Problem 2 (Nonlinear Programming).

Find θΘ\theta\in\Theta and 𝐩\bm{p} where 𝐩[j]\bm{p}[j]\in\mathbb{R} for j>0j>0 and 𝐩[j]0\bm{p}[j]\geq 0 for j>Nζj>N_{\zeta}, such that Q(θ,𝐩)0Q(\theta,\bm{p})\succeq 0.

Remark 2.1.

The positive-semidefiniteness of the parametric coefficient matrix Q(θ,𝐩)Q(\theta,\bm{p}) guarantees the positiveness of polynomial p0p_{0}. Since QQ is derived from ζi\zeta_{i} and γi\gamma_{i}, it depends on the dynamics (1), i.e., ff, gg, and the control limits 𝒰\mathcal{U}.

Remark 2.2.

The general form of the SOSP (5) allows pip_{i}^{\prime} and pip_{i} to be polynomials of xx. Hence, due to the simplifications (i.e., constraining pip_{i}^{\prime} and pip_{i} to real values), 2 solves a sufficient but not necessary condition to 1.

III-D Formulation of Safety Index Adaptation

As motivated in Section I, practical dynamic systems can contain varying parameters only known during runtime. We denote varying parameters as ρ\rho and extend (1) as

x˙=f(x,ρ)+g(x,ρ)u,u𝒰(ρ).\dot{x}=f(x,\rho)+g(x,\rho)u,\leavevmode\nobreak\ u\in\mathcal{U}(\rho). (6)

Assume that prior to deployment, the initial value ρ0\rho_{0} is known, and a feasible safety index ϕθ0\phi_{\theta_{0}} has been solved via 1. As explained in Remark 2.1, ϕθ\phi_{\theta} depends on the system dynamics. With the extended dynamics (6), ϕθ\phi_{\theta} also depends on ρ\rho. As a result, when ρ\rho is updated during runtime, the previously solved ϕθ\phi_{\theta} might no longer satisfy the feasibility condition (4) and render the system unsafe. Hence, it is imperative that ϕθ\phi_{\theta} is updated accordingly, formulated as:

Problem 3 (Safety Index Adaptation (SIA)).

Given a solution ϕθ\phi_{\theta} to 1 with system parameter ρ\rho, find ϕθ\phi_{\theta^{\prime}} to solve 1 with system parameter ρ\rho^{\prime}111We assume bounded step changes in the system parameters, i.e., ρρδ\|\rho-\rho^{\prime}\|\leq\delta for some δ>0\delta>0. Theoretical results on how the step size δ\delta influences the adaptation performance are left for future work..

Remark 3.1.

A naive solution to 3 is to directly re-run the full synthesis given by 2. However, the solving time of the NP is significant even for simplistic systems, e.g., over 1010 minutes for a second-order unicycle model [12]. For safety-critical tasks, the safety guarantees of the safe control law should be recovered as soon as possible.

IV SIA via Determinant Gradient Ascend

Although re-running the full synthesis (2) is infeasible, we can leverage the NP formulation to design an adaptation strategy. Observe that solving 1 is ultimately achieved by making the parametric coefficient matrix Q(θ,𝒑,ρ)0Q(\theta,\bm{p},\rho)\succeq 0, where the dependency on ρ\rho follows (6). Then, 3 naturally translates to:

θ,𝒑=𝐚𝐫𝐠𝐦𝐢𝐧θ,𝒑𝒥(θ,𝒑)𝐬.𝐭.Q(θ,𝒑,ρ)0\displaystyle\theta^{\prime},\bm{p}^{\prime}=\mathop{\underset{\theta,\bm{p}}{\mathop{\mathbf{argmin}}}}\leavevmode\nobreak\ \mathcal{J}(\theta,\bm{p})\leavevmode\nobreak\ \mathop{\mathbf{s.t.}}Q(\theta,\bm{p},\rho^{\prime})\succeq 0 (7)

given Q(θ,𝒑,ρ)0Q(\theta,\bm{p},\rho)\succeq 0, where the objective 𝒥\mathcal{J} is a design parameter to guide the search for θ\theta and 𝒑\bm{p}. If ρ\rho^{\prime} does not change significantly from ρ\rho, i.e., ρρ\|\rho-\rho^{\prime}\| is bounded (to be formalized later), we are essentially searching for a new point (θ,𝒑,ρ)(\theta^{\prime},\bm{p}^{\prime},\rho^{\prime}) near the neighborhood of (θ,𝒑,ρ)(\theta,\bm{p},\rho) to maintain the positive-semidefiniteness of QQ.

Note that the positive-semidefiniteness of QQ can be tested by computing determinants using Sylvester’s criterion [13], which says that a Hermitian matrix is positive-semidefinite if and only if all the principal minors are nonnegative. Namely, we can re-write the constraint in (7) as

Det[Q(θ,𝒑,ρ)]I,I0,I[1,,M]\displaystyle\mathrm{Det}[Q(\theta,\bm{p},\rho^{\prime})]_{I,I}\geq 0,\leavevmode\nobreak\ \forall I\subseteq[1,\dots,M] (8)

where MM is the size of QQ. [Q]I,J[Q]_{I,J} denotes the submatrix of QQ corresponding to the rows with indices II and columns with indices JJ. Since the principal minors are essentially explicit functions of θ\theta and 𝒑\bm{p}, (8) can be readily satisfied via gradient ascends on those parameters as [θ,𝒑]=[θ,𝒑]+λδ[{\theta},{\bm{p}}]=[{\theta},{\bm{p}}]+\lambda\delta where the gradient δ\delta is given by

δ=[θ,𝒑]Det[Q(θ,𝒑,ρ)]I,I|θ=θ,𝒑=𝒑.\displaystyle\delta=\left.\nabla_{[\theta,\bm{p}]}\mathrm{Det}[Q(\theta,\bm{p},\rho^{\prime})]_{I^{*},I^{*}}\right\rvert_{\theta=\theta,\bm{p}=\bm{p}}. (9)

Det[Q(θ,𝒑,ρ)]I,I\mathrm{Det}[Q(\theta,\bm{p},\rho^{\prime})]_{I^{*},I^{*}} refers to the current lowest principal minor with indices II^{*} and λ\lambda the step size. Upon change of ρ\rho, (θ,𝒑)(\theta^{\prime},\bm{p}^{\prime}) is initialized to the previous feasible values (θ,𝒑)(\theta,\bm{p}), and updated according to (9) until all principal minors are nonnegative. We refer to such an approach as the determinant gradient ascend (DGA). After ϕn\phi_{n} is fully updated for ρ\rho^{\prime}, (3) would be feasible and guarantee FI and FTC with respect to 𝒳S\mathcal{X}_{S}. Future work remains to study the system behaviors during DGA adaptation, when (3) might be infeasible.

Remark.

Since QQ depends on ff and gg which are fixed functions of xx and ρ\rho, the form of gradient update (9) is also fixed. Hence, with a pre-computed symbolic expression of the update, one only has to evaluate (9) on different (θ,𝐩,ρ)(\theta,\bm{p},\rho) values during deployment, which is fast enough to support real-time adaptation. In summary, the determinant gradient ascend (DGA) method enables close-form solutions to safety index adaptation using previous indices for warm start.

V Numerical Study

To validate our SIA approach, we provide a numerical study on a parameter-varying system based on a 2-DOF (degree of freedom) planar robot arm. The robot arm has a second-order dynamics model with joint acceleration as the input. We first derive the baseline NP problem for SIS following Section III-C and then derive the update rule for SIA in the form of (9). The feasibility of the adaptive safety index is validated by sample based evaluations.

V-A Parameter-varying 2-DOF Robot Arm

Refer to caption
Figure 2: 2-DOF Robot Arm.

We consider a 2-DOF robot arm with state x:=[θ1,θ2,θ˙1,θ˙2]x\vcentcolon=[\theta_{1},\theta_{2},\dot{\theta}_{1},\dot{\theta}_{2}]^{\top}, where θ1,2[π/2,π/18][π/18,π/2]\theta_{1,2}\in[-\pi/2,-\pi/18]\cup[\pi/18,\pi/2] are the joint positions as shown in Figure 2. θ˙1,2[1,1]\dot{\theta}_{1,2}\in[-1,1] are joint velocities. The two links have length l1l_{1} and l2l_{2} respectively. The control u:=[u1,u2]u\vcentcolon=[u_{1},u_{2}]^{\top} includes bounded joint acceleration input u1,2θ¨1,2[umin,umax]u_{1,2}\equiv\ddot{\theta}_{1,2}\in[u_{\mathrm{min}},u_{\mathrm{max}}]. The dynamics of the 2-DOF robot is given by x˙=f(x)+g(x)u\dot{x}=f(x)+g(x)u where

f(x)=[θ˙1θ2˙00],g(x)=[00001001]f(x)=\begin{bmatrix}\dot{\theta}_{1}\\ \dot{\theta_{2}}\\ 0\\ 0\end{bmatrix},\leavevmode\nobreak\ g(x)=\begin{bmatrix}0&0\\ 0&0\\ 1&0\\ 0&1\end{bmatrix} (10)

In real-world scenarios, system dynamics might change due to external factors. For instance, the total mass of a drone changes with different payloads, which in turn changes its dynamics; the torque limit of an arm motor might change due to insufficient power supply. In those cases, safety index adaptation is necessary to guarantee safety. Hence, to verify our SIA approach, we extend (10) to an affine parameter-varying system

x˙=f(x,ρ)+g(x,ρ)u=Aff(x)+Agg(x)u+b\dot{x}=f(x,\rho)+g(x,\rho)u=A^{f}f(x)+A^{g}g(x)u+b (11)

where Af=𝐈A^{f}=\mathbf{I}, Ag=diag([1,1,c1,c2])A^{g}=\mathrm{diag}([1,1,c_{1},c_{2}]) and b=[0,0,b1,b2]b=[0,0,b_{1},b_{2}]^{\top}. We assume c1,20c_{1,2}\geq 0 and b1,2b_{1,2}\in\mathbb{R}. The parameters ρ:=[c1,2,b1,2]\rho\vcentcolon=[c_{1,2},b_{1,2}] are the system parameters, which can change during runtime and can be directly observed. The robot is allowed to move within the free space and should not collide with the obstacle which is a wall placed dmaxd_{\mathrm{max}} from the robot base.

V-B Safety Index Adaptation Rule

We first derive the full SIS solution which is required to derive DGA update rules. With ϕ0=l1cos(θ1)+l2cos(θ2)dmax\phi_{0}=l_{1}\cos(\theta_{1})+l_{2}\cos(\theta_{2})-d_{\mathrm{max}}, SIS produces a safety index ϕθ=ϕ0+kϕ˙0\phi_{\theta}=\phi_{0}+k\dot{\phi}_{0} such that the control law (3) always keeps the end-effector at most dmaxd_{\mathrm{max}} away horizontally from the base, not colliding with the wall. The SI parameter θ\theta contains a single parameter k0k\geq 0. The immediate next step is to write out the feasibility condition (4) to be met by ϕθ\phi_{\theta}. We first handle the main condition 𝐦𝐢𝐧u𝒰ϕ˙θ(x,u)<η\mathbf{min}_{u\in\mathcal{U}}\dot{\phi}_{\theta}(x,u)<-\eta. Plugging in ϕ0\phi_{0}, we have

ϕθ=l1cosθ1+l2cosθ2kl1sinθ1θ˙1kl2sinθ2θ˙2dmax.\phi_{\theta}=l_{1}\cos\theta_{1}+l_{2}\cos\theta_{2}-kl_{1}\sin\theta_{1}\dot{\theta}_{1}-kl_{2}\sin\theta_{2}\dot{\theta}_{2}-d_{\mathrm{max}}.

Taking time derivative, we have

ϕ˙θ=\displaystyle\dot{\phi}_{\theta}= j=1,2ljsinθjθ˙jkljcosθjθ˙j2kljsinθjθ¨j\displaystyle\sum_{j=1,2}-l_{j}\sin\theta_{j}\dot{\theta}_{j}-kl_{j}\cos\theta_{j}\dot{\theta}_{j}^{2}-kl_{j}\sin\theta_{j}\ddot{\theta}_{j}
=\displaystyle= i=1,2ljsinθjθ˙jkljcosθjθ˙j2kljsinθj(cjuj+bj)\displaystyle\textstyle\sum_{i=1,2}-l_{j}\sin\theta_{j}\dot{\theta}_{j}-kl_{j}\cos\theta_{j}\dot{\theta}_{j}^{2}-kl_{j}\sin\theta_{j}(c_{j}u_{j}+b_{j})

Note that k,lj,cj0k,l_{j},c_{j}\geq 0, hence the minimum of ϕ˙θ\dot{\phi}_{\theta} is reached at uj=umaxu_{j}=u_{\mathrm{max}} if sinθj0\sin\theta_{j}\geq 0 and uj=uminu_{j}=u_{\mathrm{min}} otherwise. Since θj[π/2,π/18][π/18,π/2]\theta_{j}\in[-\pi/2,-\pi/18]\cup[\pi/18,\pi/2], the positiveness of θj\theta_{j} depends on which interval it falls into, namely whether θjπ/18\theta_{j}\leq-\pi/18 or θjπ/18\theta_{j}\geq\pi/18. With indicators 𝕀1,2=±1\mathbb{I}_{1,2}=\pm 1, those conditions can be written as

𝕀jsinθjsin(π/18)0\displaystyle\mathbb{I}_{j}\sin\theta_{j}-\sin(\pi/18)\geq 0 (12)

Then, the main feasibility condition becomes

j=1,2ljsinθjθ˙jkljcosθjθ˙j2\displaystyle\textstyle\sum_{j=1,2}-l_{j}\sin\theta_{j}\dot{\theta}_{j}-kl_{j}\cos\theta_{j}\dot{\theta}_{j}^{2}
kljsinθj(cju~j+bj)<η\displaystyle\leavevmode\nobreak\ \leavevmode\nobreak\ \leavevmode\nobreak\ \leavevmode\nobreak\ \leavevmode\nobreak\ \leavevmode\nobreak\ \leavevmode\nobreak\ \leavevmode\nobreak\ \leavevmode\nobreak\ -kl_{j}\sin\theta_{j}(c_{j}\tilde{u}_{j}+b_{j})<-\eta (13)

where u~j=umax\tilde{u}_{j}=u_{\mathrm{max}} if 𝕀j=1\mathbb{I}_{j}=1 and u~j=umin\tilde{u}_{j}=u_{\mathrm{min}} if 𝕀j=1\mathbb{I}_{j}=-1 for j=1,2j=1,2. Next, we add conditions to consider the state limits, i.e., θj[π/18,π/2]\theta_{j}\in[\pi/18,\pi/2], θ˙j[1,1]\dot{\theta}_{j}\in[-1,1] and θ˙j2[0,1]\dot{\theta}_{j}^{2}\in[0,1]:

𝕀jsinθj+1\displaystyle-\mathbb{I}_{j}\sin\theta_{j}+1 0\displaystyle\geq 0 (14)
1θ˙j2\displaystyle 1-\dot{\theta}_{j}^{2} 0\displaystyle\geq 0 (15)
(θ˙j2)2+θ˙j2\displaystyle-(\dot{\theta}_{j}^{2})^{2}+\dot{\theta}_{j}^{2} 0\displaystyle\geq 0 (16)
sinθj2+cosθj21\displaystyle\sin\theta_{j}^{2}+\cos\theta_{j}^{2}-1 =0\displaystyle=0 (17)

The last condition in (4) is ϕθ0\phi_{\theta}\geq 0, which is omitted here to enable decreasing safety index at all levels (i.e., ϕθ\phi_{\theta}\in\mathbb{R}), instead of only the unsafe regions (i.e., ϕθ0\phi_{\theta}\geq 0). Now, (4) translates to: for any state satisfying (12) to (17), (13) holds. To achieve that, we construct a refute set by collecting (13) to (17), with (13) negated, and prove that the refute set is empty222See [12] for the theoretical results of such an approach.. With αj:=sinθj\alpha_{j}\vcentcolon=\sin\theta_{j}, βj:=cosθj\beta_{j}\vcentcolon=\cos\theta_{j}, yj:=θ˙jy_{j}\vcentcolon=\dot{\theta}_{j} and zj:=θ˙j2z_{j}\vcentcolon=\dot{\theta}_{j}^{2} for j=1,2j=1,2, the refute set is given by:

{γ1:=ł1α1y1kl1β1z1kl1(c1u~1+b1)α1ł2α2y2kl2β2z2kl2(c2u~2+b2)α20γ2:=𝕀1α1sin(π/18)0γ3:=𝕀1α1+10γ4:=1y120γ5:=z12+z10ζ1:=α12+β121=0γ6:=𝕀2α2sin(π/18)0γ7:=𝕀2α2+10γ8:=1y220γ9:=z22+z20ζ2:=α22+β221=0\begin{cases}\gamma_{1}\vcentcolon=-\l_{1}\alpha_{1}y_{1}-kl_{1}\beta_{1}z_{1}-kl_{1}(c_{1}\tilde{u}_{1}+b_{1})\alpha_{1}\\ \leavevmode\nobreak\ \leavevmode\nobreak\ \leavevmode\nobreak\ \leavevmode\nobreak\ -\l_{2}\alpha_{2}y_{2}-kl_{2}\beta_{2}z_{2}-kl_{2}(c_{2}\tilde{u}_{2}+b_{2})\alpha_{2}\geq 0\\ \gamma_{2}\vcentcolon=\mathbb{I}_{1}\alpha_{1}-\sin(\pi/18)\geq 0\\ \gamma_{3}\vcentcolon=-\mathbb{I}_{1}\alpha_{1}+1\geq 0\\ \gamma_{4}\vcentcolon=1-y_{1}^{2}\geq 0\\ \gamma_{5}\vcentcolon=-z_{1}^{2}+z_{1}\geq 0\\ \zeta_{1}\vcentcolon=\alpha_{1}^{2}+\beta_{1}^{2}-1=0\\ \gamma_{6}\vcentcolon=\mathbb{I}_{2}\alpha_{2}-\sin(\pi/18)\geq 0\\ \gamma_{7}\vcentcolon=-\mathbb{I}_{2}\alpha_{2}+1\geq 0\\ \gamma_{8}\vcentcolon=1-y_{2}^{2}\geq 0\\ \gamma_{9}\vcentcolon=-z_{2}^{2}+z_{2}\geq 0\\ \zeta_{2}\vcentcolon=\alpha_{2}^{2}+\beta_{2}^{2}-1=0\end{cases} (18)

The refute set is represented by four versions of (18) with different sign values of 𝕀1,2\mathbb{I}_{1,2}. Following (5), for the ithi^{\mathrm{th}} assignment (i[4]i\in[4]) of (𝕀1,𝕀2)(\mathbb{I}_{1},\mathbb{I}_{2}), we have

pi,0=1pi,1ζi,1pi,2ζi,2n=19pi,nγi,n\displaystyle p_{i,0}=-1-p^{\prime}_{i,1}\zeta_{i,1}-p^{\prime}_{i,2}\zeta_{i,2}-\textstyle\sum_{n=1}^{9}p_{i,n}\gamma_{i,n} (19)

and decompose as pi,0=𝒙Qi(θ,𝒑i,ρ)𝒙p_{i,0}=\bm{x}^{\top}Q_{i}(\theta,\bm{p}_{i},\rho)\bm{x} where 𝒙:=[1,y1,z1,α1,β1,y2,z2,α2,β2]\bm{x}\vcentcolon=[1,y_{1},z_{1},\alpha_{1},\beta_{1},y_{2},z_{2},\alpha_{2},\beta_{2}]^{\top}, θ:=[k]\theta\vcentcolon=[k], and 𝒑i:=[pi,1,pi,2,pi,1,,pi,9]\bm{p}_{i}\vcentcolon=[p^{\prime}_{i,1},p^{\prime}_{i,2},p_{i,1},\dots,p_{i,9}]. Let [Q]m,n[Q]_{m,n} denote the element of QQ at row mm column nn, we have

{[Qi]2,4=l1pi,1[Qi]3,5=kl1pi,1[Qi]1,4=kl1(c1u~i,1+b1)pi,1+𝕀i,1pi,2𝕀i,1pi,3[Qi]4,4=pi,1[Qi]2,2=pi,4[Qi]3,3=pi,5[Qi]1,3=pi,5[Qi]5,5=pi,1[Qi]6,8=l2pi,1[Qi]7,9=kl2pi,1[Qi]1,8=kl2(c2u~i,2+b2)pi,1+𝕀i,2pi,6𝕀i,2pi,7[Qi]8,8=pi,2[Qi]6,6=pi,8[Qi]7,7=pi,9[Qi]1,7=pi,9[Qi]9,9=pi,2\begin{cases}[Q_{i}]_{2,4}=-l_{1}p_{i,1}\\ [Q_{i}]_{3,5}=-kl_{1}p_{i,1}\\ [Q_{i}]_{1,4}=-kl_{1}(c_{1}\tilde{u}_{i,1}+b_{1})p_{i,1}+\mathbb{I}_{i,1}p_{i,2}-\mathbb{I}_{i,1}p_{i,3}\\ [Q_{i}]_{4,4}=p^{\prime}_{i,1}\\ [Q_{i}]_{2,2}=-p_{i,4}\\ [Q_{i}]_{3,3}=-p_{i,5}\\ [Q_{i}]_{1,3}=p_{i,5}\\ [Q_{i}]_{5,5}=p^{\prime}_{i,1}\\ [Q_{i}]_{6,8}=-l_{2}p_{i,1}\\ [Q_{i}]_{7,9}=-kl_{2}p_{i,1}\\ [Q_{i}]_{1,8}=-kl_{2}(c_{2}\tilde{u}_{i,2}+b_{2})p_{i,1}+\mathbb{I}_{i,2}p_{i,6}-\mathbb{I}_{i,2}p_{i,7}\\ [Q_{i}]_{8,8}=p^{\prime}_{i,2}\\ [Q_{i}]_{6,6}=-p_{i,8}\\ [Q_{i}]_{7,7}=-p_{i,9}\\ [Q_{i}]_{1,7}=p_{i,9}\\ [Q_{i}]_{9,9}=p^{\prime}_{i,2}\\ \end{cases} (20)

With that in hand, the gradient updates (9) can be obtained by taking derivatives of the principal minors of {Qi}i=1,,4\{Q_{i}\}_{i=1,\dots,4} with respect to [θ,𝒑1,,𝒑4][\theta,\bm{p}_{1},\dots,\bm{p}_{4}]. Specifically, given new parameter ρ\rho^{\prime} to adapt to, we compute the gradients as:

δθ\displaystyle\delta_{\theta} =14i=14θDet[Qi(θ,𝒑i,ρ)]Ii,Ii|θ=θ,𝒑i=𝒑i\displaystyle=\frac{1}{4}\sum_{i=1}^{4}\left.\nabla_{\theta}\mathrm{Det}[Q_{i}(\theta,\bm{p}_{i},\rho^{\prime})]_{I^{*}_{i},I^{*}_{i}}\right\rvert_{\theta=\theta,\bm{p}_{i}=\bm{p}_{i}} (21)
δ𝒑i\displaystyle\delta_{\bm{p}_{i}} =𝒑iDet[Qi(θ,𝒑i,ρ)]Ii,Ii|θ=θ,𝒑i=𝒑i\displaystyle=\left.\nabla_{\bm{p}_{i}}\mathrm{Det}[Q_{i}(\theta,\bm{p}_{i},\rho^{\prime})]_{I^{*}_{i},I^{*}_{i}}\right\rvert_{\theta=\theta,\bm{p}_{i}=\bm{p}_{i}}

With learning rate λk\lambda_{k} and λ𝒑\lambda_{\bm{p}}, we apply the update rule

θ=θ+λθδθ,𝒑i=𝒑i+λ𝒑δ𝒑i\displaystyle\theta=\theta+\lambda_{\theta}\delta_{\theta},\leavevmode\nobreak\ \bm{p}_{i}=\bm{p}_{i}+\lambda_{\bm{p}}\delta_{\bm{p}_{i}} (22)

until all principal minors of all QiQ_{i}’s are non-negative.

Refer to caption
(a) Without adaptation.
Refer to caption
(b) With adaptation
Figure 3: Arm end-effector tracking without and with safety index adaptation. Each goal is marked with the same color as the corresponding tracking trajectory. The robot is initialized with a feasible safety index with respect to the initial system dynamics and starts to track the first goal in blue. Every time a goal is reached, the system dynamics change. (a) Without adaptation, when tracking the second goal in orange, the arm runs into a state (marked by a cross) where it is approaching the wall quickly and no safe control can be found within the control limits. (b) With adaptation, the safety index is updated upon changes to the dynamics. That keeps the safe control law always feasible. As a result, the arm decelerates in advance when approaching the wall and safely tracks each of the goals.
Refer to caption
Figure 4: Feasibility rate of adapted safety indices, safety index parameters θ=[k]\theta^{\prime}=[k^{\prime}] and adaptation time under different system parameters ρ\rho^{\prime}. The first point (ρ:c1=c2=1.0\rho:c_{1}=c_{2}=1.0) corresponds to the nominal system. b1b_{1} and b2b_{2} are always 0.

V-C Experiment and Results

We initialize the robot arm with nominal parameters ρ=[c1=c2=1,b1=b2=0]\rho=[c_{1}=c_{2}=1,b_{1}=b_{2}=0] and run the full safety index synthesis (see 2) to acquire an initial safety index ϕθ\phi_{\theta}. The inputs are limited to umin=100,umax=100u_{\mathrm{min}}=-100,u_{\mathrm{max}}=100. To validate our SIA approach, we simulate multiple disturbances to the system parameters ρ\rho. For each perturbed system with parameters ρ\rho^{\prime}, we invoke the SIA update rules (22) to acquire a new ϕθ\phi_{\theta^{\prime}}. Figure 3 shows an example of such adaptation where the parameters ρ\rho is perturbed after the arm end-effector reaches its goal. Without adaptation, the arm runs into a state where the safe control law (3) is infeasible and fails to ensure safety. With adaptation, the arm quickly updates the SI to ϕθ\phi_{\theta^{\prime}} and manages to find safe actions.

For quantitative evaluation, we apply each adapted ϕθ\phi_{\theta^{\prime}} by running the safe control law (3) on 10001000 uniformly sampled states under the perturbed system and compare to the nominal safety index ϕθ\phi_{\theta}. If (3) is feasible, we mark the safety index as feasible at the corresponding state. Due to the uncertainty of nonlinear programming 2, we repeat the whole process for 1010 times and plot the feasibility rate of the safety index before and after adaptation, the adapted SI parameter θ\theta and adaptation time. We also run the full SIS on each perturbed system and compare the computation time. See Figure 4 for the plots. We observe that the more ρ\rho^{\prime} deviates from ρ\rho (the smaller the c1,2c_{1,2}), the control law under the nominal safety index is less likely to be feasible while the adapted safety index achieves 100%100\% feasibility rate. The adaptation time is also consistently lower than that of solving full SIS, validating that our SIA approach is computationally efficient for real-time deployment. Although only c1,2c_{1,2} are perturbed in our simulations, our approach directly accommodates other variations, for instance changing b1,2b_{1,2} or more generally, changing AfA^{f}, AgA^{g} and bb in (11).

V-D Discussions

Tolerance against variations. It can be observed from Figure 4 that the adapted value of SI parameter kk shows a negative correlation with respect to the system parameters c1,2c_{1,2}. In our experiments, we discovered that when c1,2c_{1,2} are increased, the original kk is normally still feasible, and no adaptation is required. Intuitively, the larger c1,2c_{1,2} is, the more sensitive the system is to inputs; the larger kk is, the more sensitive the control law is to unsafe regions. When c1,2c_{1,2} increases, the system becomes more reactive, keeping the original kk feasible. When c1,2c_{1,2} decreases, a more aggressive safe control law is needed to react to unsafe regions in advance, necessitating a larger kk. Note that the above only applies to our specific system, while the tolerance analysis for general systems is left for future work.

Scalability against system dimensions. The scalability of both full SIS and SI adaptation largely depends on the size of the refute set (18) as well as the coefficient matrix QiQ_{i} in (20). For an nn-DOF 2D robot arm, the size of the refute set is given by 1+5n1+5n; the size of QiQ_{i} is 1+4n1+4n; and there are 2n2^{n} such QiQ_{i} to prove PSD for full SIS. Despite the exponential scalability of SIS, our DGA approach allows one to pre-generate all gradient updates from QiQ_{i} in symbolic forms and only evaluates those expressions during online adaptation. That renders our approach highly efficient even for high-dimensional systems.

Gradient-based Optimization. When implementing our update rule (22), we normalize the gradients δθ\delta_{\theta} and δ𝒑i\delta_{\bm{p}_{i}}, and set the learning rates λθ=λ𝒑=1e5\lambda_{\theta}=\lambda_{\bm{p}}=1e-5. Empirically, one should always normalize the gradients and start experimenting with small learning rates to help DGA converge. Moreover, our DGA is presented in first-order gradient updates in (22). Second-order approaches such as Newton’s method can also be applied for better convergence rates when the change of ρ\rho is minimal and a feasible kk^{\prime} can be found within a near neighbor of the current kk.

VI Conclusion and Future Work

In this paper, we presented a safety index adaptation (SIA) approach to update safe control laws in response to varying system dynamics in real time. Our approach replaces full safety index synthesis, which is extremely slow, with fast closed-form updates to controller parameters. Through numerical studies, we verified that our approach allows the agent to quickly adapt to new system dynamics and achieve zero safety violations.

In practice, after the system dynamics change, the system is inevitably guarded by an outdated safety index during the adaptation computation time. Hence, as future work, it is worth studying the system’s behavior during such a transition period to draw critical insights, for instance, whether the adaptation can finish before the agent crashes into unsafe regions. If not, the agent should stop navigation and wait for the new safety index. Another promising direction is to handle continuously changing dynamics as opposed to step parameter changes, which will bring new questions on the tolerance of synthesized safety indices and the criterion of triggering SIA. Finally, we aim to provide theoretical results such as the proof of convergence to the new safety index as well as the convergence rate.

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